These are typically based on a number of factors, which may be weighed differently in each congressional office, and include. Under the Privacy Act, each executive branch agency that maintains records containing an individual's personally identifiable information must have a release from that individual to share information with any other entity. In general, agencies cannot reply to a congressional inquiry without a Privacy Act release signed by the constituent requesting assistance.
Most agencies will accept any signed document from a constituent stating that the constituent grants a Member of Congress access to any record held by an agency that will help resolve the constituent's inquiry.
Some agencies, however, issue their own forms and might prefer to have that form filed with them when a congressional office initiates a case inquiry.
Constituent correspondence sent to a Member's office does not fall under the protections provided by the Privacy Act or any other statute safeguarding personally identifiable records.
Nevertheless, due to the high probability of an expectation of privacy concerning these communications, and Member interest in maintaining the confidentiality of office activities, many congressional offices develop a policy for safeguarding the privacy of casework-related documents.
Such a policy could include. Rules promulgated under HIPAA 31 give patients the right of access to their medical information and prohibit health plans and health-care providers from using or disclosing identifiable information to most individuals or entities without a patient's written authorization. Examples of constituent inquiries that might involve medical information include claims for benefits under the following programs:. Some agencies have determined that congressional requests for medical information related to casework inquiries require a HIPAA release.
HIPAA rules also require health plans and providers to give individuals the opportunity to object to the disclosure. Procedures for securing patient consent to release information or to provide information to third parties may vary from agency to agency. When medical or other health-care information must be released for a casework inquiry, the agency involved might accept a signed request from the constituent to the Member as a sufficient release, or it might forward a formal release form of its own design to the congressional office for endorsement by the constituent.
Based on the priorities identified in individual congressional offices, many offices compile documentation to clarify policies related to casework. Such documentation could specify casework goals, management procedures, and expectations of staff. Having a manual or established protocol can help offices ensure consistency in their casework practices. This type of document is not required, and there is no congressional standard regarding its format or contents. All decisions regarding activities and operations in a Member's office are within the discretion of the Member, subject to chamber rules and relevant statute.
Procedures are typically developed by modifying standardized outlines and protocols to a particular office, based on the priorities and goals of that office and the preferences and needs of the Member's constituents. The outline below suggests questions to help develop an office casework manual addressing those demands. Sample documents, which may be used in whole or in part, are also provided.
This section of the manual could be where congressional offices explain their approach to constituent service. Information might include a consideration of the role of representation, casework as micro-level oversight, and political issues related to casework. This section could also explain the role of casework in relation to broader office goals and the caseworker's role in meeting those goals.
Questions that might be addressed in this section include the following:. This section could provide an overview of office organization and operations. This section could incorporate the rules and guidelines regarding casework of the House or Senate, as appropriate. In addition, this section could detail rules or procedures specific to the particular congressional office.
Questions that might be addressed in this section include. Intake describes the process by which constituents request casework services and a congressional office prepares to respond. Intake procedures could define the information and materials needed from constituents, including the release of personal information under the Privacy Act of sample forms below and HIPAA, if necessary.
Questions that might be addressed in developing procedures for the intake process include the following:. Following the intake process, it is generally necessary to determine the scope of the constituent's case and to set expectations between the caseworker and the constituent. Questions that might be addressed in developing procedures for working with constituents include the following:.
At the end of the intake process, it is necessary to identify and contact the appropriate agency to address the constituent's concerns. Many congressional offices maintain lists of the executive branch agencies they work with.
Questions that might be addressed in developing procedures for working with executive branch agencies include the following:. A common concern regarding casework records is their maintenance while cases are open, and their disposition when cases are concluded.
The House and Senate consider the records generated in a Member's office to be the personal property of the Member. The House Records Management Manual for Members notes that to "safeguard personal information, most Members will not transfer case files to a repository. Routine cases could be kept in the office as long as they are open, and for two years after they are closed, after which they may be destroyed.
Cases that might be kept permanently include those with bearing on agency oversight or matters of interest to the Senator or state. Those records could be retained in the office as long as they are open, and for one year after they are closed, after which they may be transferred to an archival repository. As a Member of Congress, one of my most important responsibilities is to help constituents interact with the many agencies and offices of the federal government. Staff in my office can provide you with basic information, such as a federal agency phone number, and help you with governmental procedures, such as applying for a passport or visa.
In addition, my staff can help with matters involving other government agencies and programs, including. Although we cannot force an agency to expedite your case or act in your favor, we can frequently intervene to facilitate the processes involved, encourage an agency to give your case consideration, and sometimes advocate for a favorable outcome.
My office is unable to offer legal advice or recommend an attorney. Finally, my office cannot intervene in matters under the jurisdiction of local or state governments. I look forward to hearing from you. Initial Correspondence with Constituents Opening a Case I appreciate the opportunity to assist you. My office can frequently intervene to facilitate the processes involved, encourage an agency to give your case consideration, and sometimes advocate for a favorable outcome.
My office is not able to offer legal advice or recommend an attorney, or intervene in, or influence the outcome of, cases that are under the jurisdiction of any court. Finally, our office cannot intervene in matters under the jurisdiction of local or state governments. This requirement falls under the provisions of the Privacy Act of The release must be signed by the person directly affected, unless the person is a minor, or a third party has a notarized power of attorney.
My staff and I look forward to working with you. Some offices may wish to provide or request additional information to facilitate case management. Examples of sample text for selected purposes might include specifying methods of communication, agency-specific information that might be helpful, or how to manage health care information.
A written statement helps ensure that we have a record of all the pertinent details that the agency will need. In order for us to better work with the agency on your behalf, please provide my office with any pertinent information or claim numbers in your correspondence, such as. If you have received any related correspondence or documents from the agency involved, please send those to us as well.
Since your case involves medical or healthcare information, we also ask that you complete the enclosed release specifically authorizing access to the medical records necessary to resolve your case, as required by the Health Insurance Portability and Accountability Act of HIPPA.
Pursuant to the Privacy Act of , as amended, 5 U. The Privacy Act of is a federal law designed to protect you from any unauthorized use and exchange of personal information by federal agencies. Any information that a federal agency has on file regarding your dealings with the United States government may not, with a few exceptions, be given to another agency or Member of Congress without your written permission.
Family members, friends, or other interested parties generally may not authorize on your behalf the release of information covered by the Privacy Act. I hope the information provided is helpful. While this is not a final resolution to your case, I do hope this information will be helpful to you. For example, Representative John Quincy Adams of Massachusetts, who served as President before his election to the House, noted in his diary that he provided services to a number of constituents.
Requests included corrections of the date on a military pension certificate, discussions with the Secretary of the Treasury regarding the reappointment of a collector in Adams's district, and numerous applications for Post Office appointments. See Leonard D. Garfield of Ohio, who later served as President, received constituent "requests to search for a miscarried letter, to secure favorable action on pension claims, to get a decision allowing a patent extension, to obtain payment of a claim Other early examples may be found in Leonard D.
For example, one study tracked the number of cases in congressional offices in the 95 th and 97 th Congresses. In the 95 th Congress, a sample of congressional offices was found to receive an average of approximately 93 new cases each week. The number of cases in individual offices ranged from 10 to new cases per week. In the 97 th Congress, data taken from a different, larger sample of congressional offices found that the offices received an average of approximately 91 new cases per week.
During that period, the range varied between 4 and cases per office per week. See John R. Johannes and John C. Johannes, "The Distribution of Casework in the U. John D. Tobin Grant and Thomas J.
Dennis F. Lee H. Hamilton, "Congressional Casework," Congressional Record , vol. Fenno, Jr. Although the perception that casework creates positive political benefits for Members of Congress appears widely held in congressional and some scholarly communities, evidence that supports that contention directly is not conclusive. Some congressional scholars have done analyses suggesting that casework activities can serve political ends, such as increasing name recognition and creating an image of concern, and that those actions can lead to electoral success.
Fiorina, Congress: Keystone of the Washington Establishment 2 nd ed. Other scholars have been unable to identify a direct connection. See John C. Larry P. Hamilton, "Casework," Congressional Record , vol. Johannes, "Casework as a Technique of U. Washington: GPO, , pp. Senate Rule XLIII recognizes that not everyone who seeks assistance from a Senator will be a constituent of the state the Senator represents, and refers to anyone who might seek casework services as a "petitioner.
Examples of nonconstituents who might seek congressional intervention in administrative proceedings include foreign-born individuals seeking to emigrate to the United States, or a family or other interested party who live outside a Member's constituency on behalf of a resident constituent.
In the House, guidance issued by the Committee on Standards of Official Conduct suggests that "particular care should be exercised when providing assistance to individuals who are not from the Member's congressional district. When a Representative is unable to assist a non-constituent, the Member may refer the person to his or her own Representative or Senator. While the whip does possess a few methods of pushing members to vote in desired ways, leadership lacks a guaranteed way of enforcing loyalty.
Among the most common punishments for failure to follow leadership demands include removal from memberships or chairmanships on committees. Bills the member has introduced may not be advanced through the legislative process, or leadership may publicly oppose their bill in retaliation. The member may lose important party financial contributions to their reelection campaign.
Therefore, party leaders and their whip enforcers have several tools to coerce members to vote in ways that would seem at odds with their own political beliefs and past promises to constituents. If the leadership uses a coercive approach too often, it can cause discord within its caucus and spark calls for a change of leadership; leadership must choose its legislative priorities and carefully decide how it will persuade its caucus members to vote accordingly.
Thanks to the policy and budgetary decisions of Congress over the course of many decades, the federal government has grown enormously. The growth of the federal government in both its size and the scope of its activities has initiated a major increase in the size of congressional support staffs. These staffers assist members in wielding their influence to benefit favored groups and help members maintain their privileged positions and assignments.
Secondarily, they act as liaisons between the people and their elected representatives. While Congress is in session, a member is most often attending committee hearings or voting on the floor of the House or Senate. Because time is limited, they are unable to comprehensively read and review every bill up for consideration.
A typical legislative staff on Capitol Hill consists of a chief of staff, legislative director, several legislative assistants, legislative correspondent, staff assistant, communications or press secretary, scheduler, and many unpaid interns. The legislative director helps write bills for the member and compiles a daily register of vote recommendations. Legislative assistants are, in theory, policy experts who manage their own legislative portfolios on such topics as national defense, healthcare, energy, and education.
They assist the legislative director to craft and analyze bills, and are liaisons between industries and interest groups and the member. Thus, the legislative assistant who handles the national defense portfolio, for example, is an important liaison between the congressperson and a company that does business with the military. Additionally, press staffers often write many of the official statements that the media attributes to the member. Legislative correspondents manage the task of daily written communication with constituents, either through the postal service or via email.
Members receive hundreds of inquiries and messages from constituents and special interests each day. Though constituents receive responses ostensibly signed by their representative or senator, these responses are written most often by the legislative correspondent. Some congressional offices sparingly respond to constituent enquiries, while others meticulously respond to every communication received.
Finally, a typical office employs a legion of unpaid interns. These individuals are normally the first and only person a constituent speaks to if they call the office. The intern is the first line of defense barring constituents from interacting directly with policy makers and their elected members of Congress. Additionally, interns contribute to many of the necessary clerical tasks that keep the office functioning, attend committee briefings, and escort constituents and VIPs who visit Washington, D.
Non-intern staff are usually very young, meagerly paid, and work long hours. Because staff positions are constantly vacated in favor of more senior roles with other members or more lucrative positions in the private sector, the majority of legislative analysis, bill-creation, and decision-making is conducted by legislative assistants in their twenties.
Another side effect of the growth of the federal government, and the delegation of power to federal agencies, is the emergence of caseworkers. Often these problems come in the form of denied Veterans Administration or Social Security disability benefits. In rural congressional districts, constituents often find themselves at odds with Environmental Protection Agency EPA regulations concerning water and land use.
In many cases, constituents receive no timely communications from the federal agency on the progress of their claims and simply want their congressperson to ensure the matter is still being investigated. These agencies, in turn, employ their own congressional casework liaisons who communicate with their caseworker counterparts on Capitol Hill.
Without passing new laws, it is difficult for Congress to change the regulatory or administrative decisions made by federal agencies. Because these agencies rely upon budgetary appropriations and authorizations made by Congress, they must remain responsive and cooperative with Congress members and their staffs. Still, Congress has delegated a great amount of power to these bureaucratic institutions.
This affords constituents a second-look at their case and an opportunity to ensure that due diligence and due process have been followed. The growth of the administrative state, the allure of re-election, and the promise of rewards from special interests have all helped to greatly alter the nature of congressional decision-making and the relationship between members of Congress and their constituents. As this overview has shown, the evolution of Congress poses important questions for Americans struggling to find new ways of making Congress more collegial, deliberative, and responsive.
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